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Nasdaq · USD

SENS

Senseonics Holdings, Inc.

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Tapewire entity
5469
SEC CIK
0001616543
Parsed reports
441

Last 12 months

Inside the activity.

8 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202540
Dec 202500
Jan 202600
Feb 202600
Mar 202620
Apr 202600
May 202610
Jun 202600
Jul 202600
Aug 202610
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
April 12, 2021 Filed Apr 13, 2021 22:40 UTC SaleCommon Stock 47,580 $2.12 $100,883.87
Disclosure

SEC source: 0001104659-21-049878 · tm2112899d1_4.xml · nonDerivative · entry 4

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 652

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan entered into on March 10, 2021.

F3 · price: This transaction was executed in multiple trades at prices ranging from $2.02 to $2.37, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F5 · ownership.nature: Shares held directly by Delphi BioInvestments VIII, L.P. ("DBI VIII"). The Reporting Person is a managing member of Delphi Management Partners VIII, L.L.C. ("DMP"), the general partner of DBI VIII. As a managing member of DMP, the Reporting Person shares voting and investment power over the securities held by DBI VIII and may be deemed to have indirect beneficial ownership of such shares. The Reporting Person disclaims beneficial ownership of such securities held by DBI VIII, except to the extent of his proportionate pecuniary interest therein.

Read SEC document
April 12, 2021 Filed Apr 13, 2021 22:40 UTC SaleCommon Stock 4,906,326 $2.12 $10,402,883.02
Disclosure

SEC source: 0001104659-21-049878 · tm2112899d1_4.xml · nonDerivative · entry 3

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan entered into on March 10, 2021.

F3 · price: This transaction was executed in multiple trades at prices ranging from $2.02 to $2.37, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F4 · ownership.nature: Shares held directly by Delphi Ventures VIII, L.P. ("DV VIII"). The Reporting Person is a managing member of Delphi Management Partners VIII, L.L.C. ("DMP"), the general partner of DV VIII. As a managing member of DMP, the Reporting Person shares voting and investment power over the securities held by DV VIII and may be deemed to have indirect beneficial ownership of such shares. The Reporting Person disclaims beneficial ownership of such securities held by DV VIII, except to the extent of his proportionate pecuniary interest therein.

Read SEC document
April 09, 2021 Filed Apr 13, 2021 22:40 UTC SaleCommon Stock 46,989 $2.39 $112,190.94
Disclosure

SEC source: 0001104659-21-049878 · tm2112899d1_4.xml · nonDerivative · entry 2

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 48,232

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan entered into on March 10, 2021.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.30 to $2.565, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F5 · ownership.nature: Shares held directly by Delphi BioInvestments VIII, L.P. ("DBI VIII"). The Reporting Person is a managing member of Delphi Management Partners VIII, L.L.C. ("DMP"), the general partner of DBI VIII. As a managing member of DMP, the Reporting Person shares voting and investment power over the securities held by DBI VIII and may be deemed to have indirect beneficial ownership of such shares. The Reporting Person disclaims beneficial ownership of such securities held by DBI VIII, except to the extent of his proportionate pecuniary interest therein.

Read SEC document
April 09, 2021 Filed Apr 13, 2021 22:40 UTC SaleCommon Stock 4,845,399 $2.39 $11,568,874.65
Disclosure

SEC source: 0001104659-21-049878 · tm2112899d1_4.xml · nonDerivative · entry 1

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,845,399

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan entered into on March 10, 2021.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.30 to $2.565, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F4 · ownership.nature: Shares held directly by Delphi Ventures VIII, L.P. ("DV VIII"). The Reporting Person is a managing member of Delphi Management Partners VIII, L.L.C. ("DMP"), the general partner of DV VIII. As a managing member of DMP, the Reporting Person shares voting and investment power over the securities held by DV VIII and may be deemed to have indirect beneficial ownership of such shares. The Reporting Person disclaims beneficial ownership of such securities held by DV VIII, except to the extent of his proportionate pecuniary interest therein.

Read SEC document
April 01, 2021 Filed Apr 5, 2021 21:05 UTC GrantCommon Stock 7,279 $2.58 $18,779.82
Disclosure

SEC source: 0001209191-21-025217 · doc4.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,218,601

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $18,779.82 divided by $2.58, the closing price of Issuer's common stock on the NYSE American on April 1, 2021.

Read SEC document
April 01, 2021 Filed Apr 5, 2021 21:02 UTC GrantCommon Stock 4,941 $2.58 $12,747.78
Disclosure

SEC source: 0001209191-21-025208 · doc4.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 442,875

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,747.78 divided by $2.58, the closing price of Issuer's common stock on the NYSE American on April 1, 2021.

Read SEC document
April 01, 2021 Filed Apr 5, 2021 20:58 UTC GrantCommon Stock 2,919 $2.58 $7,531.02
Disclosure

SEC source: 0001209191-21-025192 · doc4.xml · nonDerivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,334

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $7,531.02 divided by $2.58, the closing price of Issuer's common stock on the NYSE American on April 1, 2021.

Read SEC document
April 01, 2021 Filed Apr 5, 2021 17:00 UTC GrantCommon Stock 2,470 $2.58 $6,372.60
Disclosure

SEC source: 0001209191-21-025193 · doc4.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,186

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $6,372.60 divided by $2.58, the closing price of Issuer's common stock on the NYSE American on April 1, 2021.

Read SEC document
April 01, 2021 Filed Apr 5, 2021 21:04 UTC GrantCommon Stock 4,602 $2.58 $11,873.16
Disclosure

SEC source: 0001209191-21-025214 · doc4.xml · nonDerivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 429,275

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $11,873.16 divided by $2.58, the closing price of Issuer's common stock on the NYSE American on April 1, 2021.

Read SEC document
January 04, 2021 Filed Jan 7, 2021 00:08 UTC GrantCommon Stock 20,190 $0.93 $18,780.74
Disclosure

SEC source: 0001209191-21-002362 · doc4.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,211,322

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $18,780.74 divided by $0.9302, the closing price of Issuer's common stock on the NYSE American on January 4, 2021.

Read SEC document
January 04, 2021 Filed Jan 7, 2021 00:12 UTC GrantCommon Stock 8,096 $0.93 $7,530.90
Disclosure

SEC source: 0001209191-21-002367 · doc4.xml · nonDerivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,415

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $7,530.90 divided by $0.9302, the closing price of Issuer's common stock on the NYSE American on January 4, 2021.

Read SEC document
January 04, 2021 Filed Jan 7, 2021 00:10 UTC GrantCommon Stock 13,706 $0.93 $12,749.32
Disclosure

SEC source: 0001209191-21-002364 · doc4.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 437,934

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,749.32 divided by $0.9302, the closing price of Issuer's common stock on the NYSE American on January 4, 2021.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 19:11 UTC GrantCommon Stock 6,853 $0.93 $6,374.66
Disclosure

SEC source: 0001209191-21-002365 · doc4.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 366,716

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $6,374.66 divided by $0.9302, the closing price of Issuer's common stock on the NYSE American on January 4, 2021.

Read SEC document
January 04, 2021 Filed Jan 7, 2021 00:09 UTC GrantCommon Stock 12,766 $0.93 $11,874.93
Disclosure

SEC source: 0001209191-21-002363 · doc4.xml · nonDerivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 424,673

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $11,874.93 divided by $0.9302, the closing price of Issuer's common stock on the NYSE American on January 4, 2021.

Read SEC document
November 15, 2020 Filed May 27, 2021 21:37 UTC
Panlilio MirasolVP Global Sales and Marketing
Tax withholdingCommon Stock 39,581 $0.39 $15,436.59
Disclosure

SEC source: 0001209191-21-036392 · doc4.xml · nonDerivative · entry 1

Panlilio Mirasol · CIK 0001667551 · VP Global Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 836,483

F1 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock units ("RSUs").

Read SEC document
November 15, 2020 Filed May 28, 2021 01:32 UTC
Goodnow Timothy TDirector · President and CEO
Tax withholdingCommon Stock 155,511 $0.39 $60,649.29
Disclosure

SEC source: 0001209191-21-036388 · doc4.xml · nonDerivative · entry 1

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,962,421

F1 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock units ("RSUs").

Read SEC document
November 15, 2020 Filed May 28, 2021 01:34 UTC
JAIN MukulChief Operating Officer
Tax withholdingCommon Stock 77,039 $0.39 $30,045.21
Disclosure

SEC source: 0001209191-21-036390 · doc4.xml · nonDerivative · entry 1

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,648,096

F1 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock units ("RSUs").

Read SEC document
November 15, 2020 Filed May 28, 2021 01:35 UTC
Kaufman FrancineDirector · Chief Medical Officer
Tax withholdingCommon Stock 44,293 $0.39 $17,274.27
Disclosure

SEC source: 0001209191-21-036391 · doc4.xml · nonDerivative · entry 1

Kaufman Francine · CIK 0001769791 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 933,153

F1 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock units ("RSUs").

Read SEC document
October 01, 2020 Filed Oct 5, 2020 22:16 UTC GrantCommon Stock 48,243 $0.39 $18,781.00
Disclosure

SEC source: 0001209191-20-053857 · doc4.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,191,132

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $18,781 divided by $0.3893, the closing price of Issuer's common stock on the NYSE American on October 1, 2020.

Read SEC document
October 01, 2020 Filed Oct 5, 2020 22:18 UTC GrantCommon Stock 32,751 $0.39 $12,749.96
Disclosure

SEC source: 0001209191-20-053859 · doc4.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 424,228

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,749.96 divided by $0.3893, the closing price of Issuer's common stock on the NYSE American on October 1, 2020.

Read SEC document
October 01, 2020 Filed Oct 5, 2020 22:20 UTC GrantCommon Stock 19,345 $0.39 $7,531.01
Disclosure

SEC source: 0001209191-20-053862 · doc4.xml · nonDerivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 357,319

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $7,531.01 divided by $0.3893, the closing price of Issuer's common stock on the NYSE American on October 1, 2020.

Read SEC document
October 01, 2020 Filed Oct 5, 2020 18:19 UTC GrantCommon Stock 16,375 $0.39 $6,374.79
Disclosure

SEC source: 0001209191-20-053861 · doc4.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,863

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $6,374.79 divided by $0.3893, the closing price of Issuer's common stock on the NYSE American on October 1, 2020.

Read SEC document
October 01, 2020 Filed Oct 5, 2020 22:17 UTC GrantCommon Stock 30,503 $0.39 $11,874.82
Disclosure

SEC source: 0001209191-20-053858 · doc4.xml · nonDerivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,907

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $11,874.82 divided by $0.3893, the closing price of Issuer's common stock on the NYSE American on October 1, 2020.

Read SEC document
October 01, 2020 Filed Oct 5, 2020 22:20 UTC GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-053863 · doc4.xml · nonDerivative · entry 1

Raab Anthony R. · CIK 0001827192 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,077

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in full on October 1, 2021, subject to the reporting person's continuous service through such vesting date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
July 21, 2020 Filed Jul 22, 2020 17:15 UTC
Panlilio MirasolVP Global Sales and Marketing
Disposition to issuerCommon Stock 36,979 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043335 · doc4.xml · nonDerivative · entry 2

Panlilio Mirasol · CIK 0001667551 · VP Global Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 876,064

F3 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of RSUs.

Read SEC document
July 21, 2020 Filed Jul 22, 2020 21:10 UTC
Goodnow Timothy TDirector · President and CEO
Tax withholdingCommon Stock 156,037 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043329 · doc4.xml · nonDerivative · entry 2

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,117,932

F3 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of RSUs.

Read SEC document
July 21, 2020 Filed Jul 22, 2020 21:12 UTC
JAIN MukulChief Operating Officer
Tax withholdingCommon Stock 77,039 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043330 · doc4.xml · nonDerivative · entry 2

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,825,135

F3 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of RSUs.

Read SEC document
July 21, 2020 Filed Jul 22, 2020 21:13 UTC
Kaufman FrancineDirector · Chief Medical Officer
Disposition to issuerCommon Stock 44,293 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043333 · doc4.xml · nonDerivative · entry 2

Kaufman Francine · CIK 0001769791 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 977,446

F3 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of RSUs.

Read SEC document
July 20, 2020 Filed Jul 22, 2020 17:15 UTC
Panlilio MirasolVP Global Sales and Marketing
GrantCommon Stock 913,043 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043335 · doc4.xml · nonDerivative · entry 1

Panlilio Mirasol · CIK 0001667551 · VP Global Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 913,043

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in eight equal installments with the first installment vesting on July 21, 2020 and the remaining RSUs vesting in six month increments commencing on November 15, 2020, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
July 20, 2020 Filed Jul 22, 2020 21:10 UTC
Goodnow Timothy TDirector · President and CEO
GrantCommon Stock 3,836,957 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043329 · doc4.xml · nonDerivative · entry 1

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,273,969

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in eight equal installments with the first installment vesting on July 21, 2020 and the remaining RSUs vesting in six month increments commencing on November 15, 2020, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
July 20, 2020 Filed Jul 22, 2020 21:12 UTC
JAIN MukulChief Operating Officer
GrantCommon Stock 1,902,174 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043330 · doc4.xml · nonDerivative · entry 1

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,902,174

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in eight equal installments with the first installment vesting on July 21, 2020 and the remaining RSUs vesting in six month increments commencing on November 15, 2020, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
July 20, 2020 Filed Jul 22, 2020 21:09 UTC GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043328 · doc4.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391,477

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in eight equal installments with the first installment vesting on July 21, 2020 and the remaining RSUs vesting in six month increments commencing on November 15, 2020, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
July 20, 2020 Filed Jul 22, 2020 21:07 UTC GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043326 · doc4.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,142,889

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in eight equal installments with the first installment vesting on July 21, 2020 and the remaining RSUs vesting in six month increments commencing on November 15, 2020, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
July 20, 2020 Filed Jul 22, 2020 21:16 UTC GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043336 · doc4.xml · nonDerivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,974

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in eight equal installments with the first installment vesting on July 21, 2020 and the remaining RSUs vesting in six month increments commencing on November 15, 2020, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
July 20, 2020 Filed Jul 23, 2020 00:26 UTC GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043420 · doc4.xml · nonDerivative · entry 1

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,077

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in eight equal installments with the first installment vesting on July 21, 2020 and the remaining RSUs vesting in six month increments commencing on November 15, 2020, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
July 20, 2020 Filed Jul 22, 2020 17:14 UTC GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043334 · doc4.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 343,488

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in eight equal installments with the first installment vesting on July 21, 2020 and the remaining RSUs vesting in six month increments commencing on November 15, 2020, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
July 20, 2020 Filed Jul 22, 2020 21:13 UTC
Kaufman FrancineDirector · Chief Medical Officer
GrantCommon Stock 1,021,739 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043333 · doc4.xml · nonDerivative · entry 1

Kaufman Francine · CIK 0001769791 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,021,739

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in eight equal installments with the first installment vesting on July 21, 2020 and the remaining RSUs vesting in six month increments commencing on November 15, 2020, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
July 20, 2020 Filed Jul 22, 2020 21:08 UTC GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043327 · doc4.xml · nonDerivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 381,404

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in eight equal installments with the first installment vesting on July 21, 2020 and the remaining RSUs vesting in six month increments commencing on November 15, 2020, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

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July 20, 2020 Filed Aug 20, 2020 20:38 UTC Amendment GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047741 · doc4a.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,142,889

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service through such vesting date.

F2 · shares: This Form 4 amendment is being filed to reflect the correct vesting terms of the RSU grant.

F3 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

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July 20, 2020 Filed Aug 20, 2020 20:43 UTC Amendment GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047744 · doc4a.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391,477

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service through such vesting date.

F2 · shares: This Form 4 amendment is being filed to reflect the correct vesting terms of the RSU grant.

F3 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

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July 20, 2020 Filed Aug 20, 2020 20:46 UTC Amendment GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047747 · doc4a.xml · nonDerivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,974

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service through such vesting date.

F2 · shares: This Form 4 amendment is being filed to reflect the correct vesting terms of the RSU grant.

F3 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

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July 20, 2020 Filed Aug 20, 2020 20:47 UTC Amendment GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047750 · doc4a.xml · nonDerivative · entry 1

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,077

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service through such vesting date.

F2 · shares: This Form 4 amendment is being filed to reflect the correct vesting terms of the RSU grant.

F3 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

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July 20, 2020 Filed Aug 20, 2020 20:42 UTC Amendment GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047743 · doc4a.xml · nonDerivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 381,404

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service through such vesting date.

F2 · shares: This Form 4 amendment is being filed to reflect the correct vesting terms of the RSU grant.

F3 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

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July 20, 2020 Filed Aug 20, 2020 16:44 UTC Amendment GrantCommon Stock 273,077 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047745 · doc4a.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 343,488

F1 · shares: Represents a restricted stock unit ("RSU") grant. The RSUs vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service through such vesting date.

F2 · shares: This Form 4 amendment is being filed to reflect the correct vesting terms of the RSU grant.

F3 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

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July 01, 2020 Filed Jul 2, 2020 20:49 UTC GrantCommon Stock 49,804 $0.38 $18,781.09
Disclosure

SEC source: 0001209191-20-040418 · doc4.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 869,812

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $18,781.09 divided by $0.3771, the closing price of Issuer's common stock on the NYSE American on July 1, 2020.

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July 01, 2020 Filed Jul 2, 2020 20:55 UTC GrantCommon Stock 33,810 $0.38 $12,749.75
Disclosure

SEC source: 0001209191-20-040464 · doc4.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,400

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,749.75 divided by $0.3771, the closing price of Issuer's common stock on the NYSE American on July 1, 2020.

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July 01, 2020 Filed Jul 2, 2020 20:53 UTC GrantCommon Stock 19,971 $0.38 $7,531.06
Disclosure

SEC source: 0001209191-20-040450 · doc4.xml · nonDerivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,897

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $7,531.06 divided by $0.3771, the closing price of Issuer's common stock on the NYSE American on July 1, 2020.

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July 01, 2020 Filed Jul 2, 2020 17:53 UTC GrantCommon Stock 16,905 $0.38 $6,374.88
Disclosure

SEC source: 0001209191-20-040586 · doc4.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,411

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $6,374.88 divided by $0.3771, the closing price of Issuer's common stock on the NYSE American on July 1, 2020.

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July 01, 2020 Filed Jul 2, 2020 20:51 UTC GrantCommon Stock 31,490 $0.38 $11,874.88
Disclosure

SEC source: 0001209191-20-040432 · doc4.xml · nonDerivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,327

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $18,874.88 divided by $0.3771, the closing price of Issuer's common stock on the NYSE American on July 1, 2020.

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April 29, 2020 Filed Apr 29, 2020 18:00 UTC SaleCommon Stock 144,538 $0.60 $87,156.41
Disclosure

SEC source: 0001209191-20-026216 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,476,414

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6000 to $0.6098, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.